Can I recover losses from investments with former Kalos Capital, Inc. broker Daniel Mann (CRD# 4592568) regarding GPB Capital Holdings investment losses? He has been registered with Independent Financial Group, LLC in Henderson, Nevada since 2021. Previously, he was registered with Kalos Capital, Inc. in Henderson, Nevada from 2016 to 2021.
Daniel Mann Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
January 2022. “Breach of Fiduciary duty, over concentration in high risk securities.” The customer is seeking $334,000 in damages and the case is currently pending. The complaint was regarding GPB Capital Holdings investment losses. The complaint took place while he was registered with Kalos Capital, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Kalos Capital, Inc. may be liable for investment or other losses suffered by Daniel Mann’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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